This ETF provides monthly distributions and the opportunity for capital gains through an investment in an actively managed portfolio of large cap North American financial services companies selected by Brompton, complemented by a proprietary covered call program. Our PM team first uses a top-down analysis to identify attractive sub-sectors. Rigorous fundamental analysis focuses the portfolio on at least 15 North American Financial Services Companies (as defined herein) with a market capitalization of at least $5 billion. The PMs then actively set the level of covered call writing (up to a maximum of 33%), with the goal of optimizing distributable cash and total returns.

Why Invest In North American Financials?

North American financial companies have historicaly had strong performance during periods of rising interest rates

Manager/Portfolio Manager

Brompton Funds, a division of Brompton Group which was founded in 2000, is an experienced investment fund manager with over $2 billion in assets under management. Brompton’s Portfolio Management team specializes in Canadian and global equity investments and is a leading manager of covered call writing strategies in Canada.

(1) The manager intends to limit certain expenses to 0.95% of NAV

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Brompton North American Financials Dividend ETF

Summary of Investment Portfolio as at April 30, 2019

Total Net Asset Value$19,806,649.00

Top 10 Holdings

% of Portfolio

% of Net Asset Value

Mastercard Incorporated

5.6%

5.7%

S&P Global Inc.

5.5%

5.5%

First Republic Bank

5.4%

5.4%

Sun Life Financial Inc.

5.2%

5.3%

Progressive Corporation (The)

5.2%

5.3%

Aon plc

5.1%

5.2%

American Express Company

5.1%

5.2%

PNC Financial Services Group Inc. (The)

5.0%

5.1%

JPMorgan Chase & Co.

5.0%

5.1%

Bank of America Corporation

5.0%

5.0%

Total

52.1%

52.8%

1)The investment portfolio may change due to ongoing portfolio transactions of the investment fund. Quarterly updates are available on the Fund's website at www.bromptongroup.com within 60 days of each quarter end.

Distributions

The actual breakdown of distributions for tax purposes will be provided to unitholders annually in March. This information will also be posted on the website as soon as it is available.

This information is of a general nature only and does not constitute legal or tax advice to any particular investor. Accordingly, prospective investors are advised to consult their own tax advisors with respect to their individual circumstances.

Tax Allocation

The following information is applicable to holders who, for the purposes of the Income Tax Act (Canada), are resident in Canada and hold trust units as capital property. If this is not the case, a tax advisor should be consulted.

Holders of trust units outside of a RRSP, DPSP, RRIF, RESP or TFSA should expect to receive a T3 slip from their investment dealer. T3 supplementary slips will indicate Investment Income in Box 26, Foreign Non-Business Income in Box 25, Capital Gains in Box 21 and Dividend Income in Box 23 and Box 49. Dividend income is subject to the standard gross up and federal dividend tax credit rules.

The return of capital component is a non-taxable amount that serves to reduce the adjusted cost base of the Fund units and is reported in Box 42.

Select a year

Record Date

Payment Date

Return of Capital

Foreign Non- Business Income

Foreign Non- Business Income Tax Paid

Capital Gains

Total Distribution

Jun 28, 2019

Jul 15, 2019

0.00000

0.00000

0.00000

0.00000

0.08333

May 31, 2019

Jun 14, 2019

0.00000

0.00000

0.00000

0.00000

0.08333

Apr 30, 2019

May 14, 2019

0.00000

0.00000

0.00000

0.00000

0.08333

Mar 29, 2019

Apr 12, 2019

0.00000

0.00000

0.00000

0.00000

0.08333

Feb 28, 2019

Mar 14, 2019

0.00000

0.00000

0.00000

0.00000

0.08333

Jan 31, 2019

Feb 14, 2019

0.00000

0.00000

0.00000

0.00000

0.08333

Dec 31, 2018

Jan 15, 2019

0.07018

0.00000

0.00000

0.01315

0.08333

Nov 30, 2018

Dec 14, 2018

0.10186

0.00000

0.00000

0.01910

0.12096

Total

0.17204

0.00000

0.00000

0.03225

0.70427

(1) The distribution was automatically reinvested in additional units. Immediately following the issuance, the units of the Fund were automatically consolidated and, as a result, unitholders held the same number of units after the distribution as they held before it. The adjusted cost base of a holder’s units would be increased by the amount of the distributions reinvested in units.

Trade through your online brokerage
You may purchase or trade this product directly through your online brokerage account. Select your brokerage below. If you do not see your brokerage listed below and would like to have it added, please contact us at info@bromptongroup.com